DOI: 10.24308/iass-2014-099

University of Western Macedonia, Greece

ibambak@uowm.gr / christina.tsigka@gmail.com

Abstract

It is well accepted now that it is of great significance to break down and cross barriers and artificial distinctions between every designated area or discipline (interdisciplinarity) in order to bring disparate areas of interest into contact with one another. In this vein, the underlying idea of this paper is to bring together concepts and issues on music-semiotics and film studies areas, illustrating important points of their inter-connections.

Theoretical filed:

Our study is based on the axiom that film music is not an isolated structure; it influences film interpretation and vice-versa. This idea was highlighted by Nicolas Cook (1998) who stated that “the very fact of juxtaposing image and music has the effect of drawing attention to the properties that they share, and in this way construct­ing a new experience of each; the interpretation is in this sense emergent” (p. 73).

The main aim of the present study is to explore how music functions in the film context and, in particular, how it constantly generates new connotations and interpretations.

Research material:

Our research questions have as follows: What is the nature of the boundaries between music and image in films? Are there shared characteristics between music and image and, if so, how can we interpret them at a semantic level? What is the case of pre-existing music in films? How music functions in the construction of meaning-making in a film and in the generation of new meanings? Does music, as it opens up the filmic scenes, lead to the emergence of new meaning? Ought we re-consider the conceptualization of non-diegetic music in films and the ongoing debate regarding the term diegesis in cinematic music?

Finally, acknowledging that every film is an integrated semiosphere, we examine whether the narrative can function as a whole if we separate the filmic music from filmic images.

We discuss the aforementioned issues through the paradigm of Stanley Kubrick’s film 2001: A Space Odyssey. Moreover, taking under consideration that Kubrick, as powerful and dominant auteur, came to the decision about the seven music works which had initially been chosen by him as temp tracks (temporary), we investigate the music connotations which emerge in the continuity of the filmic narration and we focus on their construction in the certain filmic context.

Stanley Kubrick’s 2001: A Space Odyssey is a masterpiece of cinema. The film continues to affect, move, puzzle, and inspire the audience and the filmmakers until nowadays, almost 45 after its world premier.

The film was in part based on Clarke’s novel “The Sentinel”. It was directed and produced by Kubrick in 1968, whose artistic view was very intense, in-depth and holistic. It is a philosophical audio-visual poem. The director’s own intention was to establish an open-endedness, so that the viewer-listener could feel free to speculate as he/she would wish with regard to the philosophical and allegorical meaning. According to McGinney (2009: 45), 2001 hypothesizes that human development requires the intervention of a god-like outside intelligence to save mankind from decline and eventual extinction.

In classical Hollywood movies music supplements the action on screen and never overshadows it. 2001: A Space Odyssey takes a turn away from it. Kubrick drew on the classic status of pre-existing musical selections to augment the role of music, breaking deliberately the tradition and the conventions for the use of music in science-fiction film genre.

McQuiston (2013) claims that for Kubrick music is neither post-production afterthought nor background nor incidental, but rather core to the ideas and meanings of his films. Kubrick used music in order to deal with the mystery of the universe and the forces that are greater than man’s comprehension. Alex North’s score was rejected by Kubrick in favor of the temp-track list of musical works which he eventually used when directing and editing. The seven musical works which compile the list are: György Ligeti’s Atmosphères, Kyrie (from his Requiem), Lux Aeterna, Aventures, Richard Strauss’ Also Sprach Zarathustra, Johann Strauss’ The Blue Danube waltz (An der schönen blauen Donau, Op. 314) and Aram Khatchaturian’s Adagio (from his Gayane Ballet Suite), and appear in thirteen places in the film. Kubrick came up to this decision not because he had become infatuated with temporary music but because he felt it was the right music for his film, because of its potential to imbue the film with extra meaning (Merkley 2007: 30; McGinney 2009:163-167).

The music in 2001: A Space Odyssey differs from other film scores by its prominence. The musical pieces chosen by Kubrick bring an aura of intellectual sophistication to the film, they are striking and, in combination with the images on the screen, uniquely impactful. Kubrick, when asked about the meaning of this film, replied as follows: “I intended the film to be an intensely subjective experience that reaches the viewer at an inner level of consciousness, just as music does” (Patterson 2004: 469).

The aim of the study

The present study advocates for an approach which can broaden the understanding of the ways music functions, signifies and gets signification within a film context.

In this vein, the main aim of the present study is to investigate how music functions in the film context and, in particular, how it constantly generates new connotations and interpretations. The research questions are:

1.     How does music function in 2001: A Space Odyssey?

2.     What is the nature of the boundaries between music and image in 2001: A Space Odyssey and how can we interpret their shared characteristics at a semiotic level?

3.     Does music, as it opens up the filmic scenes of 2001: A Space Odyssey, carry particular connotations and associations? How music influences and/or determines the meaning of the filmic images?

Methodological model

Stanley Kubrick’s oeuvre, developed over nearly 50 years, has long been studied and interpreted in terms of each narrative, thematic, visual, and musical elements. However, the attempt to find a semiotic model for the analysis and interpretation of the music in 2001: A Space Odyssey, pre-existing classical music, was fruitless. Very few music semioticians have focused on film music. On the other hand, in the field of film studies no methodological approach has been developed to analyze film music with regard to the inner elements of music. Film studies are often dominated by visual analysis. Yet, by focusing on musical elements and signs, we can understand better the visual and, probably, we can conceive the film narration at a new level. In Gorbman’s words (1987: 12) film music should be analyzed in its filmic context, as a part of the whole, in its natural state.

Consequently, we concluded that we should develop our own model, considering that: a) the director Stanley Kubrick was the one who selected the musical works and decided about their use in the film, b) the genre of the compositions is classical –western art music– and thus the works pre-existed, c) Kubrick designed the music editing upon the movie, thus the visual and the aural elements are indecomposable.

For the construction of our methodological model we were based on the schematic designation of the function of music in a film according to Wingstedt (2005, 2010), and Gorbman (1987). Our analytical framework draws on Kassabian’s description (2001) of the relationships among the events of music and other aspects of film and on the semiotic model of Cook (1998) for identifying the ways that film music interacts to images. In addition, we examine 2001: A Space Odyssey film’s music in terms of denotation and connotation and we discuss the qualities of leitmotiv that characterizes the music of the film. Borrowing from previous studies (see Tolchinsky & Lipscomb 2005; Merkley 2007; McGinney 2009), we speculate how the music provides referential and/or narrative clues for the understanding of the film: the meaning of music-image events arise through the study of how these systems are related, whether they are juxtaposed, if they reinforce each other, and/or if they exist in a status of counterpoint. The analysis focuses on both the context and the content of the music. 

Results and Discussion

1. How does music function in 2001: A Space Odyssey?

Many film music scholars and theoreticians have described and classified the functions of film music. Their categorizations, in the vast majority of cases, share common characteristics.

Wingstedt (2005, 2010) suggests six classes of film music functions: emotive, informative, descriptive, guiding, temporal and rhetorical. Gorbman’s (1987: 259) principles have as follows: invisibility, “inaudibility”, signifier of emotion, narrative cueing, continuity, unity, “breaking the rules”. According to her (1987: 73), film music can be (a) referential (music indicates the point of view, it sets the characters and the atmosphere), (b) connotative (music interprets and illustrates the narrative events). Kassabian (2001: 28) suggests that music enables us to comprehend what are in themselves non-emotional meanings in an emotional way.

Considering Wingstedt’s categorization, music of 2001 has emotive, informative, guiding, temporal and rhetorical functions. Ligeti’s works and Khatchaturian’s Gayane-Adagio communicate emotive qualities; they provide a deep emotional atmosphere and mood in association with on-screen action and characters. Yet McGinney (2009) suggests that 2001: A Space Odyssey has no music that suggests the emotions of individual characters; the characters appear largely devoid of emotion. Ligeti’s Kyrie, which accompanies all appearances of the monolith, has an informative character as it represents the alien consciousness. When blended with the Atmosphères, in the Star-Gate scene, it creates a unique spacetime sense. Strauss’ Also Sprach Zarathustra directs the attention to the Moonwatcher’s weapon invention and thus has guiding fuction. Most of the musical works create a sense of time, impose a rhythm for the on-screen narration and therefore have a temporal function. Particularly, the Blue Danube Waltz is the rhythmic basis of the movements of characters and objects; Ligeti’s Kyrie and Atmosphères when played in sequence in the Star-Gate scene, provide continuity. The rhetorical function lies on the repetition of specific musical works throughout the film narration and works as an inner-comment.

With regard to Gorbman’s categorization, music in 2001 functions as signifier of emotion, gives narrative cues, unifies the scenes and the shots and provides continuity. Music in 2001 never serves as a neutral background filler and it does not follow the principle of Gorbman’s inaudibility.

From our analysis it is found that music in 2001: A Space Odyssey functions in a way that is unlike music in other films. At first, we noticed that music and dialogues almost never co-exist. When we listen to music, the characters remain silent –though in action– and vise versa. This counterpoint-type relation makes us to infer that music is a kind of dialogue within the narration.

The relative lack of dialogue and extended visual sequences rely on the music to “explain” the scenes in the film’s story. Moreover, music goes beyond emotions and atmospheres, and takes on a narrative role (McGinney 2009: 167-168). The function of music is significantly enhanced by the ambiguity inherent in the visuals.

Moreover, music in 2001 also has an exceptional function: following the theatrical tradition, in the overture, intermission and “final bow”, music connotates the curtain of the film. More specifically, in the beginning of the film, the first appearance of the Atmosphères, in conjunction with the total black screen, simulate the curtain, signifying an invitation to the viewer-listener: “clear up your mind and get involved in the experience”.

In all, music in 2001: A Space Odyssey functions in multiple and complex ways. It is used in order to express atmospheres, moods and emotions, to enhance Kubrick’s main philosophical ideas, to mirror and illustrate the action, to comment the narration and the actions portrayed on screen, to provide unity and to give rhythm. It extends the image, contributes to the film experience and creates a new semiosphere.

2. What is the nature of the boundaries between music and image in 2001: A Space Odyssey and how can we interpret their shared characteristics at a semiotic level?

The study of both acoustical and visual elements in a film is not an easy task but it can highlight aspects of music and images overlooked when each modality is studied in isolation. Kassabian (2001: 60) describes the relationships among single events of music and other aspects of the film and proposes the study of a music piece in relation: [a] to other music, both within the same film and more generally; [b] to the narrative and the world it creates; and [c] to other tracks of the film (visual images, dialogue, sound effects).

Cook (1998) created a model for analyzing music in the context of film, focusing on the ways that film music and images interact.  Describing the relations between two media in a multimedia context, he distinguishes three cases: conformance, complementation, and contest. Cook (1998: 73) stated that “the very fact of juxtaposing image and music has the effect of drawing attention to the properties that they share, and in this way constructing a new experience of each; the interpretation is in this sense emergent”.

If music and image say exactly the same thing, expressed in separate modalities, Cook chooses to refer to them as conformant. If the separate media add independent, functionally non-redundant information to the overall work, this case is referred as complementation. A simplistic example of complementation is that the image provides denotative information and the music provides connotative, emotional information, and together they provide the total meaning of the multimedia work. Finally, the separate media can be functionally redundant and in competition. This model is referred to as contest. This state is also referent in literature as counterpoint.

Following the Cook’s semiotic model, we concluded that the relations between music and image in 2001 are sometimes in conformance and in most cases in complementation. Two clear examples of complementation are identified when the spanning motion of the waltz mirrors and accompanies the spinning movement of the Space Station and when the airhostess walks on the circular corridor. The most characteristic example of conformance is when Moonwatcher hurls the bone-tool into the air. As the bone hurtles against the sky in slow motion, we listen to the dominant c-chord of Also Sprach Zarathustra played in fortissimo by the whole orchestra. There is no competitive interaction between music and image. In many scenes the music has a dominant role: as music in 2001: A Space Odyssey is employed as a narrative resource, the music elements often dictate the visual ones.

Patterson (2004: 455-456) remarks on the musical symmetry between the opening gestures of the waltz and those of the prologue to Zarathustra. He notes how the “softened” opening of the waltz in comparison to the grand opening of Zarathustra mirrors the parallel confrontations between the groups of aggressive hominids and their more civil scientist counterparts aboard the space station.

Brown (1994: 239) describes the musical excerpts in 2001 as “separate artistic fragment[s] expressing in a different medium what the film expresses in visual and narrative terms.”

A general conclusion is that the fade-in and fade-out techniques are used effectively and in conformance to the on-screen images. There is obviously a kinetic interplay of visual and auditory rhythm: the temporal and the rhythmic elements of the music interact with the visual rhythms (on-screen motion, camera motion, and cutting patterns).

3. Does music, as it opens up the filmic scenes of 2001: A Space Odyssey, carry particular connotations and associations? How music influences and/or determines the meaning of the filmic images?

Film music is a semiotic system both in its own right and within films (Kassabian 2001: 60). Wierzbicki (2009) notes that film music has a rich semiotic content because it is derivative; its meaning is not fully contained within the music itself. The more open aesthetics of film music allows it to co-exist with material whose meaning derives from associations quite independent of the music itself. 

It is widely accepted that different music produces different interpretations of the on-screen activity. The same music work in different film setting generates new and different connotations (Gorbman, 1987). McQuiston (2013) argues that some of the most compelling aspects of Stanley Kubrick's films are musically conceived. In 2001: A Space Odyssey the music appears to have a relationship of primacy over images and dialogues. Under the impact of music, the images cease to signify in a predictable manner. The connotative dimension of music derives from certain inner music elements, such as tonality (tonal and non-tonal music), harmony, tempo, timbre (voices vs orchestra) and from extra-musical elements, that is the expressive elements of music, which is are connotated by themselves (e.g. immer breiter, sostenuto molto calmo, wie aus der Ferne, dolcissimo).

We can easily recognize a stylistic polarity between the tonal selections and the non-tonal, sound-mass selections in 2001: A Space Odyssey. If we distinguish the musical works in tonal and non-tonal, we could infer that the first are related to human presence from hominids to the humans of the very near future (emotions, moods, acts and awareness) while the latter depict and signify the unknown, the transcendental and the alien: a non-human state of consciousness.

Ligeti’s music connotes the timeless space and the spaceless time. According to McGinney (2009), the Ligeti’s micropolyphonic choral passages, with unusual harmonies and lack of discreet rhythms and melodies, evoke agony and tension and suggest an alien consciousness. It conveys a sense of energy when it brings monolith to life. Merkley (2007: 9) remarks that Ligeti’s music is most suggestive of the future and of the alien intelligence behind the monolith. In our view, Ligeti’s musical compositions are signs by themselves. They signify the “alien”, but in terms of anything that is beyond Man’s cognition, knowledge and senses – in opposition to the tonal works, whose meaning varies through the narration.

Strauss’ epic and iconic music connotes progress; human progress, technological progress, and spiritual progress as well. It also connotes revelation and knowledge. It serves to reinforce the philosophical content of the narrative. The prologue to Zarathustra imbued with the cosmic significance of the planetary conjunctions during the film’s opening titles, paints these scenes as victorious and triumphant (McGinney 2009: 83).

The pleasant relaxed tempo of the Blue Danube indicates the character and the beauty of the motion of spacecraft. Kubrick once interviewed said that “It's hard to find anything much better than The Blue Danube for depicting “grace and beauty in turning. It also gets about as far away as you can get from the cliché of space music” (Patterson, 2004: 454). McQuiston (2013: 30) emphasizes the circular nature of the waltz music, discussing the cue in connection with the prevalence of circle figures in the images of the spacecraft’s interiors and exteriors and their relationship to the movement of the craft. One could speculate that The Blue Danube appears as an anachronism. Merkley (2007: 11) argues that these “future archaisms” help to link together the different eras of man and adds that “the preserved musical elements lend a continuity to the evolution of the species that would otherwise appear to be disjunct.” 

Khatchaturian’s Adagio from Gayane Ballet Suite in the centrifuge scene brings the feeling of isolation and is charged with the severity of a non-escape long-distant journey to universe. Is this the music that the astronaut listens in his head while exercising? McGinney (2009: 84) observes that the slow excerpt from the Suite accompanies the solitary routines of the astronauts, while Merkley (2007: 9) notices that the depressive anxiety of Khatchaturian’s chromatic music bottles up the energy of a man stuck on ship traveling through outer space with a taciturn companion and a suspicious computer.

In the scene “Jupiter and Beyond the Infinite” we have a rather unique case in film history. We listen to three musical compositions by Ligeti in sequence, for about 17 minutes (Kyrie, Atmosphères, Aventures) and Kubrick has edited them in continuity, so that the non-musician viewer-listener cannot identify that these are three autonomous works. This part of the movie is exceptional for many other reasons. It is timeless, with arbitrary linearity, strongly dramatic and highly expressionistic. Music conjures up visions. It fills the airless space in the borderline of reality and fiction. From the semiotic point of view, it is too hard to define the signs in the Star-Gate scene. However, considering the whole scene as a sign, music once more signifies the passage to the transcendental, unknown, and divine.

In sum, music in 2001: A Space Odyssey, which is outside classical Hollywood’s semiotic code, allows and offers a wide range of possible interpretation and it is a powerful generator of meanings. In many scenes, the meaning of the visual images is ambiguous and it is the music which determines the process of interpreting the scene. Music provides cues for interpretation.

Some further Findings

1. Kubrick’s re-conceptualization of non-diegetic music in 2001: A Space Odyssey

In 2001: A Space Odyssey, though the composed score pre-existed, it seems as if it was “tailored” on the film. Music is ingeniously edited: the fade-in, fade-out and cut sound techniques are used in an enigmatic manner so that viewer-listener is likely puzzled about the non-diegetic nature of music. Do the characters of the film listen and react upon the music? Is the monolith the sound source of Ligeti’s Kyrie? Does Dr. Floyd (William Sylvester) listen to The Blue Danube Waltz while sleeping and traveling in space? Does Frank Poole (Gary Lockwood) listen to Gayane-Adagio while exercising inside the spacecraft? The fade-out and cut sound techniques show that music in 2001: A Space Odyssey is probably non-diegetic, but this appears not to be the question at all. In any case, Kubrick went beyond the limitations and conventions of musical diegesis.

2. Leitmotiv

In film music, a musical theme that is repeated could be seen as leitmotiv. According to Chattah (2006:138-139), the composers establish a leitmotiv through signifier-signified proximity. Once a leitmotiv has been introduced and attached to its corresponding signified, it can represent events that are absent in the visuals or dialogue. Chattah further claims that composers in order to achieve a strong linkage between a leitmotiv (signifier) and the character, object, or place it represents (signified), they often rely on metaphorical correlations between signifier and signified based on image schemas. The associations based on a leitmotiv transmit connotations related to the film's narration. (Guadalupe Silveira 2013: 127)

Leitmotivs function as signs which evoke a re-conceptualization of certain associations. For instance, when Zarathustra’s theme appears in the Moonwatcher scene, it indicates the very beginning of civilization. In the scene of the mysterious virgin-birth of the Star-Child, it could be linked to the concepts of wisdom and self-consciousness, reversing the prior destination of mankind of “killing and be killed”. Patterson (2004: 451) argues that in the above scenes, music underscores “the dramatic turning points of becoming”. 

The use of Ligeti’s Kyrie in three scenes (the discovery of the monolith by the hominids, the encounter of monolith by the specialized scientists in Tycho crater, and the Star-Gate Dave's experience) diminishes the space and time distance among them. Ligeti’s music in these scenes provides unity and connotes the idea and the question of consciousness through the contact with an extraterrestrial intelligence. Ciment (2001: 128) regards the Kyrie as a leitmotiv for the alien consciousness, which invokes “Clarke’s idea that all technology, if sufficiently advanced, is touched with magic and a certain irrationality”. Considering the total duration of 2001: A Space Odyssey (about 2 hours and 29 minutes) and the duration of Ligeti’s compositions (about 33 minutes) we assert that Ligeti’s music is a leitmotiv by itself.  

Since Kubrick had decided to use the chosen musical works in repetition, we came to the conclusion that these works ought to be considered as leitmotivs. The recurrence of certain works establishes and communicates various meanings. Furthermore, the use of musical leitmotivs in 2001: A Space Odyssey is not stereotypical, nor cliché. 

3. Silence

Music transfers its own attributes to the story-line (Cook 1998: 20). The presence or the absence of the music perform as narration by itself, making the ‘musical silence’ a carrier of meaning (Lipscomb & Tolchinsky, 2005).

In 2001 the music is carefully placed and timed with the visuals and the other aural elements.  Silence (non-music) is equally important as sound and music. Arved (2004: 365-367) notes that the most catastrophic event in the film, the death of the astronaut Frank Poole, aboard the Discovery, occurs with no musical accompaniment at all.  Furthermore, the actions of the HAL 9000 computer, which was responsible for Poole’s death, also have no musical accompaniment.

4. Are there textual references made through music in 2001: A Space Odyssey? 

One could hypothesize that Kubrick’s choice about music works was intentional in terms of their textual references. For instance, when one recognizes Richard Strauss’s Also sprach Zarathustra she/he could associate it to Nietzsche’s work and equate the future man to “superman”. Yet there is evidence that Kubrick did not choose the music works for their textual associations. 

Merkley (2007:8) explains that Also sprach Zarathustra was chosen by Kubrick for 2001: A Space Odyssey because it was a majestic music piece of the approximate length that the director needed. Nietzsche's ideas were not the reason for this choice. Moreover, by the time Kubrick chose this music his shooting was complete. Consequently, all of the speculations on Nietzsche in the secondary literature that surrounds 2001: A Space Odyssey are unfounded.

Coda

Film music has broadly been studied in the context of the images and within the framework of the filmic narration. Film music studies suffer from an academic exclusivity, whereby the findings of each approach –cultural studies, film studies, semiotics, musicology, aesthetics, cognitive psychology– remain in isolation from each other. Yet, film music cannot be studied with traditional musicological methods, which rely on formalistic orientated procedures and are poorly adapted for the use of music in the more complex filmic context.

In the present study, we examined the interaction of music and other elements in 2001: A Space Odyssey, we investigated the connotations of the music mapped onto the narrative and we focused on the parallels between musical and visual linear parameters. We propose an interdisciplinary approach that aims to broaden the understanding of the ways music is given signification and functions within a film context. This approach borrows models from the fields of semiotics and musicology and uses them in a complementary way in order to formulate a framework for the study and the interpretations of the use of pre-existing music in the film context.

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